| 12-01260 | 08/02/2016 | Claimant(s): Brian Nevel
Claimant Lawyers(s): Brian D. Nevel
Respondent(s): Cristal Baron, James Rice, Rice Financial Products Company
Respondent Lawyers(s): Lisa-Sheri K. Torrence
Arbitrator(s): Linda Yarden, Robert S. Getman, Francis Carling
Hearing Site: New York, NY
| | |
| 15-00707 | 04/08/2016 | Claimant(s): Estate of Florence Levine
Claimant Lawyers(s): Michael D. Handelsman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): John A. Scudiero, Robert S. Getman, Michael F. Greco
Hearing Site: Newark, NJ
|  | Dismissed by Rule 12504 |
| 12-03949 | 06/09/2015 | Claimant(s): Turnberry Capital Management LP, Turnberry Masters, LTD
Claimant Lawyers(s): Kevin J. O'Brien
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stephen H. Kupperman
Arbitrator(s): Robert S. Getman, Ivan W. Harper, Kumar Atmakuri Ram
Hearing Site: New York, NY
| | $10,000 |
| 14-00018 | 02/23/2015 | Claimant(s): Stanley Abel
Claimant Lawyers(s): David M. Sobel
Respondent(s): Henry Scheuer, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): William A. Hohauser, Robert S. Getman, Alice E. Winkler
Hearing Site: New York, NY
| | $0 |
| 14-02987 | 02/18/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Gary Schwarcz
Respondent Lawyers(s): Gary Alan Schwarcz
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
| | |
| 12-01164 | 02/13/2015 | Claimant(s): Linda Stillman Trust
Claimant Lawyers(s): Raquel Kraus
Respondent(s): Jonathan Stillman, Gilford Securities Incorporated, Linda Stillman Trust
Respondent Lawyers(s): Jonathan Stillman, Michael Kalmus
Arbitrator(s): Robert S. Getman, Timothy P. Kebbe, William H. Morley
Hearing Site: New York, NY
| | Settlement |
| 13-03097 | 10/29/2014 | Claimant(s): Wink Mora
Claimant Lawyers(s): Robert N. Chan
Respondent(s): Sea Port Group Securities
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Robert S. Getman, Eric J. Sussman, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 13-02724 | 09/09/2014 | Claimant(s): John Griff, Thomas Hughes
Claimant Lawyers(s): Kathleen Peratis, Shirley Lin
Respondent(s): Gleacher & Company Securities., Gleacher & Company.
Respondent Lawyers(s): Jacob Johnson
Arbitrator(s): Michael E. Olney, Joseph B. Russell, Robert S. Getman
Hearing Site: New York, NY
| | |
| 13-00797 | 06/04/2014 | Claimant(s): Peter Bellard
Claimant Lawyers(s): David Wechsler
Respondent(s): GFI Brokers LLC, GFI Securities LLC
Respondent Lawyers(s): Jeffrey S. Boxer
Arbitrator(s): Robert I. Rabinowitz, Robert S. Getman, Ronald J. Colombo
Hearing Site: New York, NY
| | |
| 13-00458 | 04/04/2014 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Ted Poretz
Respondent(s): Kamil Blaszczak, Full Spectrum Funding LLC
Respondent Lawyers(s): John A. Dalley
Arbitrator(s): Vicki Z. Holleman, Robert S. Getman, Barbara Antonello Mentz
Hearing Site: New York, NY
| | $0 |
